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Search Results: failure to supervise
Results 20-30 of about 141
Date: February 18, 2025
Houston, TX Failure To Supervise Law Firm.
Date: January 23, 2025
Did You Suffer Investment Losses Because of a Failure To Supervise By Your Broker?
Date: January 6, 2025
Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer ...
Date: December 29, 2024
In her FINRA arbitration claim, our retiree client is alleging unsuitable investment recommendations, misrepresentations and omissions, failure to supervise, negligence, and more. She is requesting up to $500K in damages. Continue Reading ›
Date: September 26, 2024
Are You An Investor Who Suffered Losses Because of Broker-Dealer Supervisory Failures?
Date: September 13, 2024
Raymond James To Pay $1.8M Fine Over Purported Mutual Fund Monitoring Failures Potentially Unsuitable Mutual Fund Switching May Have Caused Excessive Sales Fees, Commissions Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. ...
Date: May 19, 2024
In the broker fraud claim, the estate is alleging best interest violations, unsuitable investment recommendations, misrepresentations and omissions, breach of contract, breach of fiduciary duty, negligence, failure to supervise, and more.
Date: October 25, 2023
Seeking up to $500K in damages, our client is also alleging unsuitable investment recommendations, due diligence failures, misrepresentations and omissions, and gross lack of supervision. Continue Reading ›
Date: September 18, 2023
While Oppenheimer does not appear to have been directly involved in the fraud, run by its ex-broker John Woods in Georgia, there appear to be grounds for suing the broker-dealer for its purported gross negligence and failure to properly supervise ...
